Best Oversight Capability Podcasts (2025)

1
National Financial Capability Study: Key Trends and Insights 32:32

18d ago32:32

32:32

In 2009, the FINRA Investor Education Foundation launched the first national study of financial capability of adults in the United States. Since its start, the National Financial Capability Study has provided data on multiple indicators of capability, including financial behaviors, attitudes, and knowledge. National Financial Capability Study surve…

1
Leading with Encouragement: A Conversation with Hallie Williams, Clinical Psychologist 41:44

27d ago41:44

41:44

What does it mean to lead with presence, purpose, and heart? In this episode of the Jagged Edge Podcast, host Yogi Patel sits down with Hallie Williams, a clinical psychologist and Adler Graduate School alum, to explore how Adlerian psychology and Positive Discipline principles inform leadership, healing, and belonging, both in the workplace and in…

1
A Conversation With FINRA Chair Scott Curtis 28:11

1M ago28:11

28:11

Resources mentioned in this episode: Blog Post: Fee Rebate for FINRA Member Firms Blog Post: FINRA Forward Initiatives to Support Members, Markets and the Investors They Serve Request for Comment: Outside Activities Rule—2025-05 Rule Proposal: Gifts Rule—2025-003 Subscribe to our show on Apple Podcasts, Google Play and by RSS. Find us: LinkedIn / X…

1
How Montessori Replaces Grades with Real Learning 9:31

2M ago9:31

9:31

Why are we still grading students like it’s 1950? In this short clip, educator and Montessorian Andrew Faulstich shares how Montessori assessment shifts the focus from grades and test scores to real, meaningful work. Instead of measuring learning through standardized exams, Montessori middle school students engage in authentic assessment, portfolio…

1
Robert Cook on FINRA Forward, and More 23:08

2M ago23:08

23:08

FINRA Forward—New Initiatives to Support Members, Markets, and the Investors They Serve FINRA360 Request for Comment on Capital Formation Rules, Guidance and Processes Request for Comment on Modern Workplace Rules, Guidance and Processes Request for Comment on Associated Persons’ Outside Activities Statement to Correct Misinformation About Outside …

1
Courage & Connection in Leadership | Fernanda Lee on the Jagged Edge Podcast with Yogi Patel 49:18

2M ago49:18

49:18

What happens when leadership is grounded in courage and connection? In this episode of the Jagged Edge Podcast, leadership coach and Adlerian psychology advocate Fernanda Lee (@filosofiapositivaoficial) joins Yogi Patel (@YogiPatelTTE) to explore how encouragement, emotional insight, and mutual respect are reshaping leadership from the inside out. …

1
Breaking the Barriers in Education with Andrew Faulstich 1:05:38

3M ago1:05:38

1:05:38

This conversation with Andrew Faulstich is honest, timely, and grounded in real practice. We talk about what education needs more of: trust, purpose, and human connection. Andrew shares what Montessori does differently and why it’s not just for a select few. It’s for everyone who wants to prepare kids (and adults) for life. Whether you’re a school …

1
Better Onboarding = Stronger Retention 11:23

3M ago11:23

11:23

How you welcome people matters. In this clip from Jagged Edge, Ricardo Cuellar explains how intentional onboarding reduces turnover, boosts belonging, and creates stronger retention. Every leader should hear this. 🎧 Watch more clips or listen to the full podcast 🎓 Register for Empowering People in the Workplace with Yogi Patel and follow Jagged Edg…

1
Vendor Vigilance: Navigating Third-Party Risk 18:20

4M ago18:20

18:20

Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interested in it? What can FINRA member firms do to mitigate that risk? And how can FINRA help? On this episode of FINRA Unscripted, FINRA’s Executive Vice President of Member Supervision Greg Ruppert shares …

1
Human Resource Isn’t a Department. It’s a Culture Driver. 51:51

4M ago51:51

51:51

Ricardo Cuellar challenges how we view HR. It’s not a reactive department—it’s a proactive culture builder. Learn what real partnership between HR and leadership looks like, and how it can elevate your team. 🎓 Learn more: yogipateltte.com/registrations 🎧 Full episode available now on the Jagged Edge Podcast @YogiPatelTTE Let me know your topics of …

1
The Toughest Conversations Are the Ones You Avoid 12:49

4M ago12:49

12:49

Ricardo Cuellar discusses how avoiding conflict doesn’t protect culture, it weakens it. In this clip from Jagged Edge with Yogi Patel, learn why clear expectations, emotional safety, and consistent dialogue are the backbone of effective leadership. 📘 Sign up for the June Empowering People in the Workplace workshop: yogipateltte.com/registrations or…

1
When Culture Fails: The Resignation That Shouldn’t Have Happened 11:14

4M ago11:14

11:14

What happens when a team member walks away—and leadership never saw it coming? In this excerpt from Jagged Edge, Ricardo Cuellar shares a real-world story of a missed opportunity for culture repair and what leaders can do differently. 🎧 Listen to the full episode on @Buzzsprout or wherever you get your podcast or YouTube @YogiPatelTTE 🎓 Learn more:…

1
Protecting Investors: FINRA Securities Helpline for Seniors' 10th Anniversary 27:29

5M ago27:29

27:29

This month, we are marking the 10th anniversary of the FINRA Securities Helpline for Seniors—an important milestone for a critical service that FINRA provides to protect vulnerable investors and assist harmed investors. On this FINRA Unscripted podcast episode, we will be speaking with leaders from FINRA’s Vulnerable Adults and Seniors Team—Elizabe…

1
How Culture, Compliance & Clarity Drive Profits | Ricardo Cuellar on Jagged Edge with Yogi Patel 51:51

5M ago51:51

51:51

How does HR move from being a cost center to your business's secret weapon? In this powerful episode of Jagged Edge with Yogi Patel, HR strategist Ricardo Cuellar breaks down the truth about culture, compliance, and how high-performing organizations align people and profit. 🎧 What You’ll Learn: The real definition of culture (and how to spot a weak…

1
Redefining Education: Flexible Learning and Community Empowerment with Tina Patel 54:08

5M ago54:08

54:08

In this episode of Jagged Edge, I sit down with Tina Patel, Founder of Montessori One, an AMI-recognized (Association Montessori Internationale) school, and the visionary behind Noorana. Tina shares her revolutionary approach to education that puts children first, embraces flexible learning environments, and fosters a deep sense of community empowe…

1
The Hidden Cost of Toxic Company Culture 11:14

5M ago11:14

11:14

Join host Yogi Patel and Ricardo Cuellar, Chief People Officer at HR Uncensored, as they reveal the essential first step leaders can take to prevent employee turnover and create a thriving workplace culture. 📅 Full podcast drops April 5th! Watch the full episode on YouTube, listen on Buzzsprout, and connect with us on LinkedIn. We’d love to hear yo…

1
Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape 31:16

6M ago31:16

31:16

As we observe National Consumer Protection Week amid a growing and changing financial fraud landscape, the time is ripe to talk about the ways in which investors can protect themselves from financial scams. On this episode, we sit down with Rob Mascio, Director of the FINRA Investor Education Foundation, to talk about the latest fraud trends, commo…

1
How Do You Build Trust and Respect in Schools? 11:52

6M ago11:52

11:52

Jagged Edge Podcast with Tina Patel How do you build trust and respect in schools to create a positive learning environment? In this episode of the Jagged Edge Leadership Podcast, Yogi Patel sits down with Tina Patel, founder of Montessori One Academy and the Noorana App. They explore how trust and respect can transform school communities by: •Crea…

1
Creating Inclusive Montessori Communities – Yogi Patel & Tina Patel 12:49

6M ago12:49

12:49

On this episode of the Jagged Edge Leadership Podcast, Yogi Patel speaks with Tina Patel, founder of Montessori One Academy and the Noorana App. As AMI-trained Montessorians, they explore how to create safe and inclusive learning environments, rethink traditional education methods, and build community connections across generations. Listen in to le…

1
Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team 35:15

6M ago35:15

35:15

As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, the leaders of FINRA's new Strategic Intelligence and Analytics (StratIntel) team discuss how they are working to identify and analyze these industry developments. On this episode, we sit down with the leade…

1
Unpacking the 2025 FINRA Annual Regulatory Oversight Report 24:59

7M ago24:59

24:59

As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025 FINRA Regulatory Oversight Report provides just that: Critical insights to help firms strengthen their compliance and protect investors. On this episode, hosted by Member Relations and Education Vice …

1
Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals 15:16

8M ago15:16

15:16

Many of us view January as a time to make a fresh start, and as a time to bid farewell to bad habits. In thinking about your New Year's resolutions, have you considered whether you're making financially healthy decisions? On this episode, we sit down with Gerri Walsh, President of the FINRA Investor Education Foundation and Senior Vice President of…

1
Unlocking Transparency: Navigating FINRA’s Market Data Offerings 23:45

9M ago23:45

23:45

Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, we sit down with two members of the Market Regulation and Transparency Services team, Senior Vice President of Strategic Regulatory Engagement Alex Ellenberg, and Senior Director of Transparency Services Equities Brendan Loonam. They joi…

1
Encore | An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub 32:07

9M ago32:07

32:07

This episode originally aired in August 2023. In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team On this episode, the first in a three-part series, we sit down with Omer Meisel, Senior …

1
Special Investigations Unit: Combating Money Laundering and Fraud in the Securities Industry 30:16

9M ago30:16

30:16

In the securities world today, there is little daylight between money laundering and fraud. As these two spaces have come to increasingly overlap, FINRA created the Special Investigations Unit, or SIU, to detect and investigate cases illicit finance, market abuse and other fraud. On this episode, we sit down with SIU Senior Director Gargi Sharma, a…

1
Want PEACEFUL TEAMS? Learn the Art of Conflict Resolution Now 11:22

10M ago11:22

11:22

Join leadership coach Yogi Patel in this insightful episode on Jagged Edge with Yogi Patel as she and expert Dina Emser dive into conflict resolution in the workplace. Discover how Positive Discipline tools and curiosity-based questioning can foster empathy, create win-win solutions, and empower leaders to manage conflict constructively. Dina share…

1
The Forgotten Generation: Shining a Spotlight on Gen X’s Financial Health 34:14

10M ago34:14

34:14

Gen X is often called the Forgotten Generation given how often they’re overlooked in favor of conversation around boomers, millennials or now even Gen Z. But not today. On this episode, Gen X is the one in the spotlight as we sit down Gary Mottola, research director with the FINRA Foundation, Ritta McLaughlin, director of community outreach with FI…

1
Strategies for Overcoming Overwhelm and Procrastination in the Workplace 56:14

10M ago56:14

56:14

In this powerful episode of the Jagged Edge Podcast, host Yogi Patel teams up with Cheryl Shah, founder of Simply Pause, to uncover effective strategies for overcoming overwhelm and procrastination in the workplace. We dive deep into how aligning your core values with professional goals can transform your leadership style and enhance workplace well…

1
The Power of Clear Communication 13:00

10M ago13:00

13:00

Join Yogi Patel and Cheryl Shah, founder of Simply Pause, as they discuss The Power of Clear Communication, exploring the intricate dance of effective dialogue in both personal and professional realms. In this episode, we dive deep into how overwhelm and procrastination can hinder productivity and the importance of breaking tasks into manageable pi…

1
The Latest Research: Why Do Targets Engage with Scams? 34:50

10M ago34:50

34:50

Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? These are important questions to ask – and find the answers to – both as consumers and as an industry with an interest in disrupting the cycle of financial fraud. On this episode, we hear fro…

1
Mastering Mindful Leadership: Core Values, Compassion, and Workplace Empowerment 15:11

11M ago15:11

15:11

In this insightful episode of the Jagged Edge Podcast, Yogi Patel sits down with Cheryl Shah from Simply Pause to explore how mindfulness, core values, and self-compassion can transform workplace dynamics and personal relationships. Discover practical tips on how to align your core values with professional goals, set boundaries, and avoid burnout w…

1
The Victim Experience: When Romance Leads to a Crypto Scam 27:00

11M ago27:00

27:00

The number of highly sophisticated crypto scams is growing, with Americans losing an estimated $5.6 billion to crypto-related scams in 2023, according to the FBI, a 45 percent jump from the prior year. And often crypto fraud is tied in with romance scams, with criminals targeting victims through texts, dating sites, social media, networking channel…

1
Disrupting the Cycle of Financial Fraud Through Collaboration and Innovation 19:31

11M ago19:31

19:31

Last week, FINRA CEO Robert Cook spoke to an audience of regulators, academics, law enforcement agencies, advocacy groups and financial firms at a conference hosted by the FINRA Foundation to underscore the importance of working together to disrupt the cycle of fraud. He highlighted specific areas for further coordination and announced that FINRA w…

1
Balancing Parenting and Entrepreneurship: Insights from Stephanie Farnaro 9:19

12M ago9:19

9:19

In this episode of Jagged Edge with Yogi Patel, Stephanie Farnaro shares her journey from overwhelmed mom to successful entrepreneur. Discover how she started Hello Nanny, the challenges she faced, and how she balances her career with parenting. Learn practical tips for managing work-life balance and creating a fulfilling career while staying prese…

1
How to Successfully Launch and Sustain Your Business: Insights from a Corporate Leader-Turned-Entrepreneur 16:37

12M ago16:37

16:37

Are you considering starting your own business while still working a corporate job? Dive into this insightful discussion where a successful entrepreneur shares her journey from the corporate world to owning a thriving business. Learn about the essential steps in business planning, managing finances, and creating a harmonious work-life balance as a …

1
Human-Centered Leadership in a Hybrid World: Trust, Technology, and Transformation 11:01

12M ago11:01

11:01

In this episode, we explore leadership challenges in the era of digital transformation and hybrid workplaces. Our discussion focuses on: Balancing technological efficiency with human connection Building trust in remote and hybrid teams Developing adaptability in rapidly changing environments Practicing authentic leadership to inspire and guide team…

1
FINRA’s Examination Program: Optimizing for the Future 35:31

12M ago35:31

35:31

FINRA’s Examinations team carries out one of FINRA’s core functions in the examination of FINRA member firms. In an effort to continuously improve the program, the team has undertaken changes to create efficiencies before, during and after the exam process. On this episode, Michael Solomon, executive vice president of Examinations and the Membershi…

1
How Do You Balance Parenthood & Entrepreneurship? 16:37

12M ago16:37

16:37

Navigating the dual roles of parenthood and entrepreneurship is no easy task. In this candid conversation, Stephanie shares her journey from corporate life to business ownership, revealing essential tips on planning, managing work-life balance, and finding joy in the process. Learn how to bridge gaps, create harmonious partnerships, and develop a s…

1
How to Overcome Uncertainty and Take the Leap in Business 36:46

12M ago36:46

36:46

In this episode, we explore how to conquer uncertainty and make bold moves in your business. Whether you’re just starting or looking to grow, you’ll discover actionable tips to help you leverage your strengths and partner’s skills to bring your business idea to life. Tune in for valuable insights that will boost your confidence and set you on the p…

1
Effective Listening and Leadership with Dina Emser! 12:02

1y ago12:02

12:02

Ever wondered how top leaders inspire and motivate their teams? In this episode of “Jagged Edge with Yogi Patel,” we dive deep with Dina Emser to reveal the secrets of effective communication and positive reinforcement in the workplace. Discover the transformative power of preventive listening. Learn why effective communication is the core of leade…

1
Conflict Resolution & Leadership Empowerment with Dina Emser 11:22

1y ago11:22

11:22

In this episode of “Jagged Edge with Yogi Patel,” we dive into conflict resolution, creating positive work environments, and effective leadership strategies with Dina Emser, Founder and Trainer of Empowering People in the Workplace. Learn about the importance of curiosity questions, understanding perspectives, and fostering a collaborative atmosphe…

1
Mastering Leadership with Dina Emser 13:31

1y ago13:31

13:31

In this episode of Jagged Edge with Yogi Patel, explore the critical role of effective listening and positive discipline in leadership. Yogi and Dina Emser discuss how leaders can balance kindness and firmness to motivate their teams, foster a cohesive work environment, and achieve long-term success. Key Highlights: •The preventive power of effecti…

1
FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets 22:35

1y ago22:35

22:35

FINRA’s Membership Application Program (MAP) team serves as the first point of contact for firms looking to enter the broker-dealer industry. It works both to protect investors by ensuring would-be member firms meet FINRA standards of admission, and to help new and existing firms grow and evolve, ensuring a vibrant market for all. On this episode, …

1
An Update on FINRA’s Crypto Asset Work and the Crypto Hub 20:11

1y ago20:11

20:11

Last summer, we introduced listeners to FINRA’ Crypto Hub and enterprise-wide strategy for keeping up with the evolving crypto asset regulatory landscape. A year later, this remains an important area of focus for investors, the industry and FINRA. On this episode, Jamie Udinson, senior director of the Cyber and Analytics Unit, Michael Yuan, a direc…

1
Building Significance and Belonging: Adlerian Approaches to Workplace Challenges 12:00

1y ago12:00

12:00

In this insightful podcast, we explore how Adlerian Psychology can address common workplace challenges and foster a sense of significance and belonging. Discover practical strategies for onboarding, team building, and creating a supportive work environment. Learn how leaders can promote cooperation over competition and integrate new employees smoot…

1
Understanding Life's Challenges and Solutions Based on Adlerian Psychology 15:41

1y ago15:41

15:41

Explore Adlerian Psychology with Yogi Patel and Dr. Jon Sperry from Lynn University as they delve into its profound insights into personal growth, leadership dynamics, and social interactions. From childhood influences to workplace relationships, discover practical strategies for enhancing mental well-being and personal effectiveness. @jonsperry @y…

1
Life Task of Love: An Adlerian Perspective with Dr. Jon Sperry on Workplace Impact 11:47

1y ago11:47

11:47

Join Yogi Patel and Dr. Jon Sperry as they talk about Adlerian Psychology, exploring the Life Task of Love and its profound impact on our personal and professional lives. Discover how understanding human behavior and development can transform leadership and foster a cohesive work environment. Don't miss this insightful conversation on the Jagged Ed…

1
Dr. Jon Sperry - Workplace Culture and Adlerian Principles 56:30

1y ago56:30

56:30

Building a positive workplace culture using Adlerian principles Comprehensive Episode! Explore the heart of building a positive workplace culture using Adlerian principles. Learn strategies for onboarding, team building, and fostering significance and belonging. Don't miss this insightful discussion! Let me know your topics of interest and join me …

1
Financial Intelligence Unit: Connecting the Industry with Actionable Information 23:40

1y ago23:40

23:40

FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of providing actionable intelligence to firms, other regulators and law-enforcement to keep investors safe. On this episode, Blake Snyder, senior director of FIU, joins us to share how the group has grown and …

1
Leadership in Challenging Times with David Lapin and Yogi Patel 11:43

1y ago11:43

11:43

Join Yogi Patel of Transformation Through Empowerment and David Lapin of Lapin International in an enlightening podcast discussion titled "Balancing Technology and Leadership in Challenging Times." This episode delves into the complexities of modern leadership, emphasizing the importance of moral clarity and purpose in navigating the evolving techn…

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Oversight Capability Podcasts

Podcasts Worth a Listen

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